Social Equity Audit: A Practical Guide

An introduction to Social Equity Audit
1. Why take up a Social Equity Audit? ............................ 1
2. What is a Social Equity Audit? ................................... 9
3. A short history ............................................................. 12
4. Lessons learnt after phase I ......................................... 17
5. Joining the SEA process ............................................... 24

PART II: Social Equity Audit:
A practical, hands-on guide
1. An overview ................................................................. 27
2. The audit process ......................................................... 32
3. The report framework .................................................. 38
4. Key questions ............................................................... 40
5. Formats ........................................................................ 52

Part III: Annexures
1. Model MoU ................................................................. 63
2. Conflict resolution mechanisms for the audit process . 70
3. Self regulatory code of conduct for the auditors .......... 71
4. Audited organisations ................................................. 72
5. Process calendar ........................................................... 74

Preface
As the title suggests, this book is about social equity - the quality of being
fair, just and inclusive. The only difficulty is that this is easier said than
Core Group done, especially in a world where exclusion is the norm. It runs rife in
everyone’s daily life and we take on the role of perpetrators or victims as
Amitabh Behar, Director, National Centre for Advocacy Studies the situation commands. In a society that is deeply hierarchical, it is not
(NCAS), Pune surprising that people tend to form exclusive groups at every level possible
- based on caste, class, education, language, ethnicity, etc. in an attempt to
Anand Kumar, Programme Officer, Christian Aid stand out from the other. Exclusions are so omnipresent that we have
internalised most of them and fail to recognise them in our personal or
Annie Namala, Development Consultant professional lives. This book is an attempt at helping us identify and
understand exclusions in our professional work.
Belinda Bennet, India Country Representative, Christian Aid
This book contains a framework and set of tools that help to hold a mirror
Manuel Alphonse, Director, Social Watch, Tamilnadu, Chennai up to us to show forms and levels of exclusion that might exist in the work
that we do. The chapters that follow will guide you through the context, the
Prakash Louis, Director, Bihar Social Institute, Patna conceptual underpinnings and the practical steps involved in conducting a
social equity audit. Even though a sequential reading of the chapters is
Sandhya Venkateshwaran, Director, Advocacy Unit, CARE recommended, if you are familiar with the context and the concepts behind
India this exercise, you could flip forward to the practical guide.

Sruti Mahopatra, Director, SWABHIMAN, Bhubaneswar Given that the scope and aim of the book are well explained in the following
chapters, it is best to shed some light on the making of the social equity
Sushila Zeitlyn, Senior Social Development Adviser, DFID audit as a tool in this preface. It all began when reports of exclusion started
pouring in from different parts of India in the aftermath of the tsunami that
Tom Thomas, Chief Executive, Praxis-Institute for Participatory hit the south-eastern Indian coast in December 2004. These prompted many
Practices, Delhi professionals engaged in ‘development work’ to sit up and think about ways
of making themselves more accountable to ensure that development
Xavier Arockiasamy, National Coordinator, SEA interventions do not fall prey to exclusive tendencies that dominate society
at large.

The task was even more challenging as the state and global institutions Kapoor,Gouthami, Reena Santosh and Sheelu Francis need special mention
were joining hands in using the tragedy as an opportunity to evict the for their valuable contribution at different stages in its development. The
traditional coastal communities who had occupied and resided on the coast first round of auditors contributed substantially to the development of the
for centuries. Accountability mechanisms had to then be devised not just to tools. The enthusiasm, active participation and critical inputs of the auditors
ensure inter and intra community inclusions, but inclusion of the entire Daniel Edwin, John Peter, Kamakshi, Leslie Martin, Shobana, Sowmyaa
coastal community itself. Bharadwaj, Nanda Gopal and John Kumar significantly improved the design
of the audit framework. Praxis - Institute for Participatory Practices provided
Challenging as it was, it was carried forward by a dedicated group of
the overall anchoring support for designing the framework and tools.
concerned development workers ranging from grassroots organisations to
donors. The several months of deliberations, formulations and trials stand What it has come to become owes a great deal to the active support and
testimony to the do-ability of collective and highly participatory processes. participation by Church Auxiliary for Social Action (CASA), People’s
What you see now is a truly collective product that would not have Action for Rural Awakening (PARA), Dalit Bahujan Shramik Union
been possible without the active contribution of everyone involved - the (DBSU), Women’s Collective, Social Need Education and Human
affected communities, the audited organisations, the auditors and the Awareness (SNEHA), CARE India and Society for Education, Village Action
SEA Core Group. and Improvement (SEVAI). Without their support, it would not have been
as robust as it is. A grateful acknowledgement is also due to NCAS team,
This book has greatly benefited from the contributions of the affected
Pune and OpenSpace, Bangalore, for their contribution to the print form.
communities that were visited as part of the audit exercise. The insights
Christian Aid’s financial support to take forward the SEA process has
provided by them have helped triangulate and modify the framework. It
been invaluable.
would be an impossible task to name everyone without running the risk of
making this an awfully lengthy preface. There is however a few that must Having tried and tested this tool in the context of emergencies, it is now
find mention: Annie Namala anchored the process in the initial stages and important to move towards making it a tool applicable in other contexts as
without her perseverance, the group would not have held together at the well. It will also be important to make a planning version of this tool so that
time of its inception. Annie also contributed further by refining the contents it can be used as a ‘pre’ as well as ‘post facto’ tool. The challenge is also to
of this book. Yamini Mishra then effectively shouldered this task briefly make it a self-administrable tool so that it becomes an organic function of
before handing over to the current co-ordinator, Xavier Arokiasamy. all developmental interventions as opposed to an externally administered
John Peter provided effective logistic support, under the aegis of NCAS tool. Given the commitment and the energy of all those who are associated
as the secretariat. with this process, it is a highly achievable proposition. As more organisations
join in, it is bound to make this an even more relevant and useful tool in
All of the core group members contributed significantly to both the content
ensuring fair, just and inclusive development for all.
and process of developing this as a tool: Sandhya Venkateshwaran, Fr.
Manuel Alphonse, Belinda Bennet, Anand Kumar, Amitabh Behar, Sushila Tom Thomas
Zeitlyn, Prakash Louis, Sruti Mohapatra, Annie and Xavier. Dennis Pain
and Sangeetha Mehta (DFID), Babu Mathew and Mohammed Asif (Action
Aid), Biraj Swain (Water Aid), Kevan Moll (VSO), Depinder Singh

1. Why take up a
Social Equity Audit?
Social Exclusion
Social exclusion, understood as the ‘processes by which individuals or
groups are wholly or partially excluded from full participation in the
society in which they live’, adds value to our understanding of poverty
and deprivation of individuals and social groups by focusing on their
causative and relational aspects. While Rene Lenoir (1974) coined the
term to primarily describe individuals who seemed to fall outside the
welfare system of the State, the term in our context has greater relevance
to social groups that are discriminated against and prevented from
participating wholly or partially in the social, economic, cultural and
political spheres of our society. The exclusion is a reflection of the power
relationship between various social groups and is based on common
group characteristics such as gender, age, caste, ethnicity, class, ability
or other, more specific, ones.
“I would be in favour of retaining the concept of social policy analysis
for a number of reasons. First it captures an important dimension of
the experience of certain groups of being ‘set apart’ or ‘locked out’ of
participation in social life. Secondly a focus on the processes of exclusion
is a useful way to think about social policy because it draws attention
to the production of disadvantage through the active dynamic of social
interaction rather than through the anonymous processes of
impoverishment and marginalisation” 1
The concept of social exclusion has the added value of expanding our
understanding of poverty beyond its indicators to its causes, which are

1
Kabeer, N. Social Exclusion, Poverty and Discrimination: Towards an Analytical
Framework. IDS Bulletin, Vol.31, No.4. October 2000

social equity audit 4 social equity audit 41

more structural and institutional. Social exclusion also helps us focus such as caste, race or descent based occupations. Such societies are
on the relationship between various social groups where majority/ governed by strict norms that decide social interface, economic access,
dominant sections prevent access to, and benefit sharing of, social and and occupations and learning, cultural practices and participation in
economic goods by other social groups. The process of exclusion is decision making of various sections of the population. These norms set
embedded in and perpetuated through social institutions. They affect the limits of participation and prohibit exchanges across the different
and impact multiple spheres of the life of the affected persons and groups, sections, thereby impinging on the fundamental rights and dignity of
resulting in multiple deprivations, inequality and poverty among the individuals and groups. Social exclusion needs also to be understood in
excluded groups. These institutions and norms are maintained by social local contextual practices, in macro global and market processes, and in
sanctions and by punitive measures against those who violate them. religious and traditional beliefs that shape our worldview, language,
The institutions, being older than developmental interventions, have a culture and the socio-economic fabric in which we operate.
tendency to accrue value and benefit to the powerful sections and to Our present modes of social ordering, whether formal or informal,
exclude those whom the programme proposes to benefit most. In this from the government to communities to religions and families,
context, understanding the dynamics of social exclusion can help us international, national and grassroots NGOs and other groups, have
progressively design development interventions that are less structural or attitudinal biases and blind spots that make them overlook
patronising and more egalitarian, based on the principles of human social exclusions at community and macro level. Though social exclusions
dignity and worth. are all- pervasive, age-old and complex, they are surmountable and can
Amartya Sen2 has clarified various dimensions of social exclusion. Social be wiped out provided there is the political will to do so. Reason for
exclusion can be, both, forced exclusions through partial inclusion, and such a belief is rooted in the understanding that such exclusions are
inclusion on discriminatory terms to forced inclusions. Each of these not predestined, but are human-made and an affront to human dignity
requires distinct attention owing to their negative impact in the long and personhood.
run. State policies and social norms could actively promote and The Universal Declaration of Human Rights in Art.2. Para (1) sets the
perpetuate social exclusion which one can term ‘active exclusion’. Often, global framework for inclusion and non-discrimination: “Everyone is
social exclusion is an inadvertent outcome of existing policies and norms entitled to all the rights and freedoms set forth in this Declaration, without
(passive exclusion) necessitating sensitive study and analysis of distinction of any kind, such as race, colour, sex, language, religion, political
marginalised communities to recognise the manifestations and impact. or other opinion, national or social origin, property, birth or other status.”
This particular form of exclusion may be a constituent part of social
exclusion, like segregated housing colonies, and could also One also finds a number of Constitutional provisions that stress on
have instrumental value in causing further exclusion, such as equality, prohibition of untouchability, prohibition to practise caste
segregated housing limiting access to natural resources or cultural discrimination, as well as protective and promotional measures to
participation. Social exclusion is thus a dynamic process that reinvents overcome the historical disabilities and deprivations thrust upon social
itself in changing contexts. groups such as Dalits in India.

Social exclusion and discrimination have particular relevance in societies Greater knowledge of the social exclusion process on the ground will,
that are built on watertight, strict and hierarchical social stratifications therefore, help to develop appropriate strategies to map/understand/
combat exclusion. The recognition and acknowledgement of a larger
2
Sen, A. Social Exclusion: Concept, Apllication and Scrutiny. Office of the Environment framework is imperative to address social exclusions at the programme
and Socail Development, Asian Development Bank. June 2000 and community levels relevantly and realistically. Any pro-active and

affirmative effort or measure to enable the most vulnerable section or individuals for further enquiry and to develop a methodology that can
sections within a social group or community in any given context of understand and address it. Carrying on ‘business as usual’ was found to
social exclusion and discrimination to move towards inclusion is part be insufficient to correct the thinking and operation behind processes
of the struggle for equity and social justice. The Social Equity Audit of exclusion and discrimination; unfortunately this is the widely accepted
has evolved as a tool and process in this context. view that many of us in the development sector and in the upper levels
of bureaucracy have to deal with.
Tsunami context The concept and development of the Social Equity Audit (SEA) arose
The urgency for addressing the question of social exclusion and from the realisation of the need for a systematic enquiry into processes
discrimination were the many reports of exclusion or marginalisation of exclusion, and evolving strategies to address the same in emergency
of Dalits, tribals, minorities, women-headed families and other social relief as well as developmental interventions. From this would come an
categories in relief and rehabilitation measures in the wake of the tsunami increased understanding about exclusion and discrimination, sharing
in 2004. The earlier experiences in disaster situations like the best practices in social inclusion and expanding the consensus among
Gujarat earthquake (2001) and Orissa floods (2001) had already development organisations and the State.
triggered the debate among development thinkers, service and human
rights organisations. The role of SEA
The relief efforts after the tsunami highlighted the fact that despite Most often, organisations take on specific mandates and focus their
high levels of awareness, good intentions, adequate resources and attention on addressing them through designing necessary programmes.
accepted standards and principles of relief operations as being universal The intention is to implement the programmes efficiently and effectively.
and non-discriminatory, the marginalised and most vulnerable repeatedly For various reasons organisations get identified with specific social
fall by the wayside when operationalising programmes. These sections groups as ‘beneficiary groups’. In identity-based social structures and
are not counted for adequate relief and rehabilitation. When they are systems, cutting across the existing social barriers does not happen in
counted, they are given leftover, substandard, and sporadic relief and the natural course of events for both development actors and community
are most often left out of substantive rehabilitation measures. groups. SEA helps identify excluded stakeholder groups and the barriers
that keep them out. It helps the organisation to take necessary inclusive
Property-centric rehabilitation measures as against livelihood and need-
steps both within its own set-up and in designing the programme and
based rehabilitation measures ensures that marginalised communities
implementing it. Within the organisation, SEA would help identify
do not qualify for rehabilitation as they have not lost anything, not
the absence or lack of equity representation and participation of excluded
having had any property to lose in the first place. In many cases they
social groups like Dalits, tribals and women in various decision-making
were actively prohibited and prevented from accessing services and
and executive bodies in the organisation. It also helps focus attention
benefits by civil society as the tsunami was understood to have affected
on the lack of participation or equity benefit sharing by marginalised
only the fishing community at first, and the social frame is that fishing
groups in the programmes. SEA particularly recognises the exclusionary
is a caste-based occupation. Hence it is not possible to think of other
nature of caste-based discrimination in the NGO context and to address
communities as being engaged in any fishing-related activity.
it in the organisational structure, systems, policies and programmes.
In the context of stark reports of exclusion both across coastal
communities and within coastal communities in tsunami relief and
rehabilitation, the issue was taken up by a group of organisations and
social equity audit 6
4 social equity audit 6
5

SEA, as mentioned before, has evolved in the context of disaster relief Exclusion within excluded sections
and rehabilitation programmes. As a professional and participatory tool SEA is rigorous and dynamic enough to help address exclusions within
it can: excluded sections also. When an organisation works with recognised
l Help us better understand the root causes and the processes socially excluded groups, one takes it for granted that issues of social
of social exclusion and discrimination in the social and exclusion and discrimination are being adequately addressed. However,
community context. the social system has produced several layers of social exclusion and
l Ensure that recovery programmes increase accountability and social such processes are a reality even within so-called excluded groups. The
inclusion. different Dalit communities or Adivasi communities maintain internal
l Pro-actively address issues of social exclusion and negative hierarchies and exclusionary mechanisms. ‘Dalits’ are not homogenous.
discrimination affecting the poorest as well as other marginalised For instance, one of the ‘lowest’ Dalit castes is the Arundhatiyar. In just
communities. one district of Tamil Nadu, they are divided into eight sub castes.
l Facilitate analysis of complex social and economic relations affecting Similarly, another category, the Pariah, has nine different groups. All of
the poorest and the marginalised. them are stratified.
l Assess how the principles of non-discrimination and inclusion are
In addition, the complex and multi-dimensional nature of exclusion is
operational in the organisation as a whole: in its vision-mission
further evident in women, the young and the old, and the physically
statements, organisational structure, strategies and decision-making
and mentally challenged within any particular social group where the
processes.
intersectional forces of exclusion are particularly operational.
l Collectively engage in creating appropriate design of programmes to
unearth ongoing social exclusion and discrimination. SEA would help analyse whether the programme actually covers all the
l Help the organisation identify best practices and blind spots regarding Dalits:
inclusion, for instance in the staffing pattern. l Castes and sub-castes, or only one section of them
l Provide social equity audit capacity to assess the programme’s l Age groups: children, adolescents, and senior citizens
effectiveness in prioritising the poorest and most marginalised in l Gender: gay, male, bisexual, transsexual, female, lesbian.
interventions and ensuring responsiveness and accountability to the
It would also help track the reach of the programme in terms of
marginalised.
l Coverage
l Share lessons learned to enhance quality of future development work
l Membership
as well as emergency relief and rehabilitation work with the poorest
l Per capita benefit
and most marginalised.
l Leadership opportunity
l Engage in only those programmes that will reduce patronage and
change power relations between individuals, households and In the case of an organisation working with women, SEA can facilitate
communities, the State, corporates etc. and avoid social exclusion and the organisation to look at internal structures and processes as well as
discrimination against weaker and poorer categories based on social programme design from an equity angle. Women, again, are not a
origin, caste, class, gender etc. homogenous social group; stratification based on caste, ethnicity and
l As a learning process, SEA is always open to adopting appropriate class is obvious among women. SEA could, in addition, help focus
tools from other existing systems of enquiry and audit and evolving attention on different types of social exclusion that women face: at
new ones according to the exigencies of the situation.


different stages of their life (age based), depending on their marital
status (widows have a especially difficult time) and ability (physically
or mentally challenged).
Inclusion does not ‘just happen’. It has to be carefully planned,
2. What is a
comprehensively designed and sensitively executed. It needs to be an Social Equity Audit?
intrinsic part of the programme, not an optional add-on. ‘Development’, The Social Equity Audit is an open, voluntary and learning process to
without a careful nurturing of participation and equity, results in enable organisations to progress systematically towards inclusion and
the consolidation of prejudice, stratification and social exclusion rather equity in their programming and institutional development.
than the reverse.
The Social Equity Audit (SEA) is, at once, both professional and
political. These two basic objectives of SEA are crucial and non-
negotiable. SEA would always be professional in that it would maintain
globally accepted standards of professional identification of processes,
patterns and structures of social exclusion. It would be political to enable
organisations and communities to effectively move from exclusivist to
more inclusive approaches and processes.
SEA is a value-based approach, looking at development though the lens
of the most vulnerable, the most powerless and the most helpless and
to enquire if the development effort is really reaching them. The inclusion
of these ‘excluded’ people in development, and eradication of
discrimination against them, is central to equity concerns. This would
mean empowering the vulnerable and changing power relations.
It is a process that is organisation-friendly and transparent, but not a
fault-finding or policing exercise. SEA will not condone any gaps found,
nor does it condemn any lapse. It is a rigorous process that is professional
and supportive at the same time, based on mutual respect, an openness
to learn, and an understanding of the difficult field circumstances.
The SEA process would be participatory. It would be facilitative and
not extractive. All those who have a significant stake in service delivery
will be actively involved throughout the audit, from the initial stages of
design to implementing community-led solutions.
It is a proactive tool to understand and address structural, organisational
and strategic constraints and bottlenecks that prevent or limit
marginalised and vulnerable communities from equitable participation
and benefit sharing in development programmes.
9

It supports the organisation to design and implement programmes to l Increased knowledge of the social exclusion process will help develop
internationally accepted standards of inclusion and equity. It enables appropriate strategies for inclusive interventions.
the organisation to ensure the participation of vulnerable communities l Communities have an inalienable right to their means of livelihood.
and inclusion in its: This cannot be compromised under any pretext—security, tourism,
l Organisational structure protection or anything else.
l Process l Being a voluntary process, the organisation will own the findings.
l Delivery This could translate into actual implementation rather than a
l Decision making defensive response as does sometimes happen.
l The goals are set based on the organisation’s vision and mission. It
The following basic beliefs and assumptions guided the development
gives the organisation the space to change at a self-determined pace,
of SEA:
if it does want to be inclusive. Being organisation-friendly, it provides
l Social exclusion can be systematically countered, despite its macro
the necessary support for such inclusion.
links. The ‘larger framework’—structural causes—cannot be excuses l Emphasis on inclusion being win-win (and demonstrably so) would
to ignore the social exclusions at the programme and community help surmount mental barriers, and building capacity would help
levels. put in place the necessary skill-sets for ‘inclusion by design’.
l Increasing the participation of excluded social groups in both
decision-making and benefit sharing is the means to development, A SEA is intended to focus on system and programme content, rather
social justice and communal harmony. than on individuals or organisations. However, the prejudices of
l Formal and informal structures and institutions of the state and individuals that has led to social exclusion will be taken into consideration
civil society have structural/attitudinal biases that make them and addressed. Inadvertent social exclusion and negative findings can
overlook social exclusions. be framed as a starting point for improvement. Findings will be
constructive rather than judgmental. SEA enables social inclusion and
accountability from (and to) all stakeholders and participants in
development programmes.
The SEA process needs to move beyond being an ‘audit’ to developing
strategic and programme planning tools for inclusion and equity. This
framework has been developed with a primary focus at the grassroots
level. A longer-term goal is to extend the use of SEA to other levels and
contexts and use by a variety of stakeholders. SEA will be used as a tool
to enhance government services accountable to the community.


Many groups that were working for development and human rights,
saw to their dismay that the disaster brought out some of the worst
forms of discrimination though there was immense assistance from the
3. A short history community to the relief process.
The context The initial findings
The tsunami of 26 December 2004, triggered by a massive undersea
Fact finding missions undertaken by human rights defenders only served
earthquake of magnitude 9 on the Richter scale near the northern island
to confirm their worst fears. In the post tsunami relief and rehabilitation
of Sumatra off Indonesia, left over 200,000 people dead, many more
phase, the following social groups were found to experience social
homeless and livelihoods destroyed in South East Asia. The killer waves
exclusion and discrimination.
devastated the coastal areas of Tamil Nadu, Andhra Pradesh, Kerala,
l The Dalit and indigenous communities in the coastal area
Andaman and Nicobar Islands and parts of Puducherry in India.
l Women (specially girls and young women, single women,
The destruction caused by the tsunami was immense. A significant widows and women-headed families)
number of the victims were peasants and from small-scale, artisan, l Children
traditional, beach-based, labour-intensive fishing communities, living l Elderly people
in marginalised socio-economic conditions. The effect on their lives, l Minorities (ethnic, linguistic and religious)
property and livelihood was unprecedented. Unprecedented also was l People with disabilities, the differently-abled and those with
the response from within and outside India. The state and central special needs
governments, and their agencies, did their best in the immediate rescue l Inland people
and relief operations. l Labourers and traders who were dependent on those sectors
More devastating than the natural disaster were the discriminatory which are affected by calamities
practices and deep-rooted biases that determined the nature and scope l Others in specific situations
of relief and rehabilitation. The theory that common adversity brings l Farmers and agriculture-dependent communities who were
about solidarity was thoroughly debunked with many of the affected affected considerably due to damage to standing crops, loss of
refusing either to be under the same roof with the Dalits or drink water livestock, salinity, sand and mud casting of their land, and
with them even on day one of the disaster. meagre compensation given for damage as well as land
reclamation.
As the days proceeded, there were also reports of women, widows and
women-headed families being denied access to relief and rehabilitation.
The initiative
Those who are physically challenged in most cases suffer severe
Recognising the size and scale of the disaster and the depth of
discrimination, which was further aggravated in the post tsunami phase.
programming required to recover, sustain, empower and create social
These sections were not counted for adequate relief and rehabilitation.
equity, there was concern amongst local communities and activists
Even when counted, they were neglected or extended leftover and
whether the relief and reconstruction efforts would be inclusive.
substandard relief. In many cases, men and patriarchal structures actively
prohibited and prevented them from accessing services and benefits Discussions were initiated involving many stakeholders, civil society
extended to tsunami victims by civil society. groups and development thinkers. The discussions sought to explore

13

whether those involved in tsunami relief and rehabilitation interventions exclusion and discrimination, share best practices in social inclusion
would be willing to accept advisory support on issues of social exclusion and expand the consensus among development organisations and the
and develop an independent SEA capacity for post tsunami State for social equity audits in development interventions.
rehabilitation programmes.
The objective was to ensure that recovery programmes increase Designing the tool
accountability and social inclusion by proactively addressing issues of In July 2005 began the process of meeting with organisations to explain
social exclusion and negative discrimination affecting the poorest as the purpose of the audit: the why, what, where and how. It was a time
well as the other marginalised communities in the post tsunami relief to develop internal collective understanding of the process with all the
and rehabilitation phase. It is not just about including the poorest, but organisations involved in the SEA.
also preventing social exclusion of the entire artisanal coastal community A pilot audit was done for the tsunami programme of Church Auxiliary
within a larger context of social equity. for Social Action (CASA), Chennai, in August 2005. The lessons fed
This process of social equity auditing has arisen out of: into the process, and in November 2005, a handpicked group of
potential auditors were called for a consultation and training.
l Concern of human rights defenders about discrimination in relief
and rehabilitation. Subsequently, there was a second round of training and consultation in
March 2006. Working collectively, the SEA process and mechanism
l Civil society response to local communities’ concern that NGO were fleshed out.
intervention should address social exclusion.
The first full–fledged SEA was done in March 2006 on the request of
l Development of platforms of local NGOs seeking to ensure People’s Action for Rural Awakening (PARA) and Dalit Bahujan
social inclusion Shramik Union (DBSU), for Punarnirmaan, their joint tsunami
l INGOs’ (international non-government organisations) concern to response programme. The next audits were in April 2006 on the request
apply the internationally accepted SPHERE standards. of Women’s Collective and Social Need Education and Human
Awareness (SNEHA). The third round of SEAs were done on the
These strands came together through participatory meetings held in
request of CARE India and Society for Education, Village Action and
Chennai and technical meetings held in Delhi for the production of a
Improvement (SEVAI), in July 2006 for their tsunami programmes.
draft framework. It has also been informed by concerns expressed by
those active in the various platforms and meetings held in Chennai and Refining the tool was, and continues to be, an interactive process. Each
the affected districts. It was a real opportunity for local advocacy groups audit feeds into the learnings, which in turn are incorporated into
operating effectively in Tamil Nadu, in response to the tsunami, to subsequent SEAs.
influence national processes and future programming.
Ensuring diversity in scope, application and testing
Consultations across a wide spectrum of people from bilateral agencies, The tsunami context helped to fashion and sharpen the tool that can be
INGOs, NGOs and activists across the country agreed upon the need used by individuals and institutions—government and non-government,
for a systematic enquiry into processes of social exclusion. There was international and local. The broad framework of SEA ensures diversity
broad agreement on the need to evolve strategies to address social of application of SEA and ensures that it can be applied in virtually any
exclusion in emergency relief as well as developmental interventions. It situation and for organisations with diverse focus areas and reach.
was expected that the process would increase understanding about social
15

SEA was successfully tested with a range of organisations with specific
reference to tsunami intervention. Among the organisations that
underwent the SEA process are one INGO (CARE India), one national
organisation (CASA), two Dalit focussed organisations (PARA and 4. Lessons learnt after phase I
DBSU), one women focussed organisation (Women’s Collective) and The SEA process has been exciting and educative. It has seen the
one fisher folk focussed organisation (SNEHA). Two had long-term evolution of a robust tool to ensure inclusion. Conscious application of
presence in the area (SNEHA, SEVAI), two started their intervention a participatory methodology at every stage promoted a learning
in the area after the tsunami (CARE India, Women’s Collective). One atmosphere for all concerned. It also ensured the development of a
had considerable experience in emergency relief (CARE India) while robust tool to examine the presence or absence of inclusion in a given
others learnt on the run. They had varying geographical reach and spread context and in a friendly manner.
(global to local), and diverse budgets. Some followed the human rights SEA is both rigorous and organisation–friendly. It is an ‘audit’ in its
based approach, some others the development approach and yet others original sense, meaning ‘to listen’. Unfortunately, audit has now come
a combination of these. to mean fault–finding, as opposed to learning. The term audit is used
The framework has been developed to focus primarily on impact at the in SEA and in this book in its original sense of ‘listen and learn’.
grassroots level: on how the development intervention impacts on the
most excluded. A longer-term goal is to extend the use of SEA to other There has been considerable feedback telling us that more people would
levels, contexts, and use by a variety of stakeholders. SEA seeks to make be willing to do an SEA if the name was less threatening. Though
government services accountable to the community. essentially it is a learning exercise, it is a professional tool based on
equity standards and critical enquiry. The term is used to indicate the
Auditing the audit rigour and professional standards followed.
A review was held in Chennai on 16 August 2006. The core group,
secretariat, and representatives from the audited organisations and the Lessons in inclusion
auditors did the review. The audit experience, the gaps in the process, The key finding is that inclusion is not only feasible, but also possible
methodology and framework were discussed and the feedback was even in emergency situations. It validates our position that inclusion
incorporated into the SEA process. by design in development is well within human competence. It just
It was decided that the tool was now robust enough and tested enough requires organisational commitment at the highest levels—often referred
to be made public. to as ‘political will’.
Inclusion needs an active engagement. By being passive, the unjust
The present status status quo will be perpetuated—and one is not being ‘neutral’, but on
SEA was tested extensively and applied in the context of the post- the side of injustice and social exclusion. Sometimes this social exclusion
tsunami recovery process with a range of organisations. If equity can is unconscious, but oftentimes it is by design; the reluctance to be
be built into an emergency programme, then it certainly can be built inclusive is due to ingrained bias of caste, gender, religion or class etc.
into a development programme in non-emergency situations. It can be
No project is ‘perfect’ or ‘ideal’ in inclusion. There is always scope
adapted to other rehabilitation and development social issues.
for improvement, provided planners consciously create space for
The process is now open, and any organisation can request a Social progressive inclusion.
Equity Audit for itself.
17

Attitudinal Staff recruitment and training are important functions to concentrate
Prejudice against Dalits and Adivasis is still very pervasive, unfortunately on. However, orientation and training of staff and leaders of community-
even within the development sector. based organisations (CBOs) on equity principles is not part of the
regular agenda.
Effective implementing of inclusion requires creating an institutional
culture for inclusiveness. It needs to be practised within the organisation Disaggregated data on staff based upon religion, caste, gender and ability,
in all its functional areas as well as in programmes. with their functions, is an important indicator to know how the
organisation addresses social exclusion in its staff and their functions,
Programmatic but it is not readily available.
Though organisations use inclusive terms and terminology in their vision
and mission statements, the values depicted by them are often not SEA process
internalised and institutionalised through policies, structures, Preparation
mechanisms and practices. Visiting the organisation a month in advance helps prepare the
organisation for a friendly and mutual learning process. It also helps to
Organisations may include vulnerable communities in their constituency, give the organisational persons the framework for collating data and
but this seldom translates into inclusion. That their programmes do giving the relevant information.
not lead to strengthening and empowering the vulnerable communities
in the socio-political realm shows the absence of a conscious effort on The chief functionaries of organisations understand the significance of
the part of the project holders. Participation of communities in design, the audit process better when the secretariat personnel appraise them
implementation, monitoring and evaluation is, therefore, a pre-requisite about the process and the method.
for the promotion of inclusion. Pre-audit research and guidelines help in understanding the organisation
The desire to achieve the project objectives could cause social exclusions. and ensures that the process of auditing goes smoothly.
Rules and procedures for selecting beneficiaries can also cause different Considerable time has to be spent in the preparatory process. The
forms of social exclusion. organisation must be sent an introductory note on the SEA purpose
The development notion of ‘beneficiary contribution’, particularly when and process. A general introduction to SEA as a process may also help
it comes to financial contribution in a larger project like housing, has a in understanding it better. Sending the framework alone does not seem
greater chance of excluding the poor and the marginalised. to be the best means.
Another important task during the preparatory stage is the careful
Organisational articulation of the indicators, to trace social exclusion in the given
Openness to change and commitment to the cause of social equity programme as that would provide the auditors the necessary detail and
from the chief functionary is a pre-requisite for an effective SEA process. information.
Active top management support is essential for the success of an audit,
especially if it is to be a process, and the suggestions are to be Language
implemented. The policies of the organisation need to be inclusive, Translating the concept paper and using the local language is very
such as recruitment policy with regard to affirmative actions in favour important. The concept paper in the local language helps wider
of vulnerable communities. understanding of the SEA process even before the audit. Knowledge

19

of the local language is imperative; at least one member of the team Schedule and sampling
should be fluent in the local language. The organisational personnel present in the session for sampling and
Pre-audit meeting scheduling must be told about the rationale behind the purposive
The responsibilities of the planned tasks and scheduled programme sampling, and the process must be done with the contribution of all
should be shared among the team members. Some of the responsibilities present. Working out a proposed schedule in advance and finalising the
include: same with the organisational personnel saves time.
l Facilitation
l Process documentation Data collection
l Data collection The organisation may not have data and information based on the
These should be decided at the pre-audit meeting of auditors. While principle of equity. Disaggregated data as per social groups is not usually
the composition of the team would give an understanding of each maintained. The organisation may be able to collate it from existing
other, explicit agreements would remove any ambiguity and foreclose data or gather it from the field team. Such a process needs time and has
chances of surprises. to be built into the preparatory process. Developing formats will help
to put together the data.
New formats for data collection suited to the organisation need to be
l The SEA team has to prepare a list of documents and formats for
developed and given to the organisation, based on the information
data capture from the organisation and hand it over to the SEA
provided to the secretariat.
secretariat.
l Similarly, the team needs to customise the format for collection of
Entrance and exit conferences
data. The SEA secretariat has to coordinate with the NGO in getting
The entrance and exit conferences as outlined in the framework are these documents and data.
helpful to set the tone of the SEA as well as to clarify and have a shared l After getting the documents and data formats, a one-day visit to
understanding of the insights. Meticulous planning for the entrance the organisation to fill the gaps in the data and documentation is
conference with the methodology and content will help focus the often required. The auditors have to analyse the data and documents
discussions and create an atmosphere of learning. An open mindset is and evolve a plan of work for their auditing. This can be worked
necessary for successful conclusion of the entrance conference. out through the internet.
Getting the list of board members and senior staff who will participate l Formats need to be devised such that the data captures the nuances.
in the entrance conference in advance shows the seriousness of the l Even after getting the data, there may still be gaps and these need
exercise. Otherwise, whoever is available at the time of the entrance to be filled progressively even as the audit process is on.
conference will be made to attend. l Apart from Focused Group Discussions (FGD), and Participatory

The exit conference helps validate data, and helps the organisation get Rural Appraisal (PRA) techniques, specific individual interviews
a ‘preview’ of the final report. It is as important as the entrance with the stakeholders (disaggregated) and a range of other tools
conference. It is the last time that the entire organisation and SEA can be used.
teams will meet in the course of the audit. Therefore, sufficient time l There needs to be a focus on the indicators of social exclusion. This

(at least three hours) should be given to the exit conference, to make then becomes the information that auditors can look for. A checklist
the best possible use of the time. will help.
l The current framework focuses on the bare minimum.

21

Field visit Each auditor can play a specific role apart from enquiry and interaction,
The field visits are a vital part of the SEA process and must be done which is common to all. One can look for data and information from
even for support organisations such as INGOs and donors. They help the secondary and primary sources, the second one can facilitate
give a wider picture of the organisation and its programmes. The field community and other group interactions, and the third can document
visits have to be made and then discussed taking the organisation into the process and take down the minutes of the meetings.
confidence and keeping in mind that SEA is not an evaluation of the Audit team meetings in the morning for planning, and in the evening,
work, but an enquiry into the dynamics of social exclusion and its impact. after the work is over, for recording and reviewing, will help to fill up
Field visits will help in assessing both ongoing programmes as well as the gaps, to reflect together, document the process, take note of the
earlier interventions such as relief. In the case of the latter one could details and findings and frame critical enquiries as well as choose
use the recall method. appropriate tools and plan further.
Intensive preparation is needed for every field visit. The programme
and field staff in charge of the village must be met with and all relevant Data analysis
information must be collected. Field visits and interactions must be Analysing implementation vis-à-vis plan in terms of activities, budget
decided together with the organisation to ensure coverage of the and deviation are important. The analysis needs to factor in the
maximum number of variables: the schedule, the organisational team, difficulties and concerns expressed by the field team as well as the
the places to be covered, persons to be interviewed, groups and organisation’s leaders.
leadership being met, villages selected for field visits and the focus groups
for discussions. Training of SE Auditors
Living with the affected people for some time will help in understanding Auditors need to possess skill sets and enabling attitudes with a blend
and bringing out the internal dynamics and process of social exclusion. of professionalism and equity perspective. They need thorough
However, time could be a constraint. orientation and awareness of the emergency (tsunami in this context).
Apart from the demographic details, disaggregated data on the village, The emergency context will be a priority, though the auditor will be
the number of NGOs present, and their activities, the intervention of made familiar with the pre-emergency context and livelihood, issues
the organisation, the number of CBOs, category of people, PRA tools regarding social exclusion raised in the particular context, general trends
etc must be collected and studied. in responding to the context, programmes being implemented and
government policies.
Coordination during audit
They would need a similar orientation on the different social groups
The first day of the SEA field visit should be used to plan the time
that get excluded: ways of social exclusion, its manifestation and its
schedule and the methodology to be used. The formats and material
impact on human rights and development issues.
needed should be kept ready.
The training should include a process to help auditors reflect on their
own attitudes and behaviour and what they should be sensitive to.
A generic decision and understanding of the type of suitable
methodologies during the training will also help.

23

5. Joining the SEA process
Being a rather ‘young’ process, SEA is dynamic and is in an exciting
stage of its development. More people and organisations are welcome
to be part of this process. Organisations could undertake a SEA for
their own organisation, while individuals could become SEA auditors.
The auditor’s attributes
l Integrity
l Proven credibility
l Professionalism
l Fairness
l Interpersonal skills
l Commitment towards diversity principles and social inclusion
l Understanding of social exclusion
l Willingness to learn
l Respect for the beliefs and viewpoints of others PART II:
Auditor’s competencies and skills
l
l
Facilitation skills (community and team)
Communication skills (English writing and spoken local language)
Social Equity Audit:
l Analytical skills and ability to distill key learning experiences and
connect smaller pieces with larger pictures
A practical, hands-on guide
l Leadership skills (including planning, control and recording of audit)
l Understanding of issues around social exclusion
l Experience in working with, or on, issues of excluded sections such
as fisherfolk, Dalits, indigenous people, women, children, relief
and rehabilitation and larger development issues
l Audit experience (social/systems audit or conventional performance
audits)
l Experience in research (desk/qualitative research)
l Experience in PRA will be added advantage.
Undertaking a Social Equity Audit
Organisations can undertake a Social Equity Audit for themselves by
following the steps outlined in the following section, or by contacting
the SEA secretariat.

1

1. An overview
Doing a SEA requires will, commitment and skills. This section has the
simple operational steps, sufficiently detailed for a do-it-yourself.
The SEA is a process to promote equity and inclusion. It must not be
seen as a one-off event. Several audit cycles are usually needed to measure
impact and progress over time, and to focus planning efforts where
they can be most effective.
Areas audited
l Vision, mission and policies
l Programme strategies
l Programme implementation
l Monitoring and evaluation systems
l Budget allocation/utilisation
l Organisation structure
l Organisation systems/ processes
l Beneficiary participation in project cycle.
Methodology
SEA uses a variety of methods. Both qualitative and quantitative
methodology is used. With the community, Focus Group Discussions
(FGD), Participatory Rural Appraisal (PRA) and Participatory Learning
and Action (PLA) are used. Desk study and data scan are an integral
part of SEA.
Since the universe for sampling is small and the purpose of the audit is
to reach out to all social groups that are susceptible to exclusion and
discrimination, purposive (maximum variance) sampling would be
appropriate. If necessary, further exploration could be done using
stratified random.
All methods used should seek to get verifiable data. The auditor liaises
with the organisation and designs, coordinates, analyses and documents
the information collected during the process. This is to ensure that the
SEA process is participatory and fully owned by the organisation.
27

The audit team Stakeholders required for interactions
The audit team would normally consist of three auditors with multi- Primary Stakeholders
disciplinary skills. At least one of them will be a woman, and at least l Organisation:
one will have community facilitation skills to meet the community, l The board and key functionaries of the society/trust
establish rapport and elicit response to the questions. l Senior team members
l Field team
Minimum information required l Programme team
The success of SEA depends, in large measure, on the completeness of l Community.
the information provided to the auditors. The ‘completeness’ of the Different groups (for instance in the tsunami context: fisherfolk,
information refers to all relevant information being made available. Dalits, vendors, trawler labourers, minorities, agriculturists, etc.)
Care needs to be taken to ensure that information does not add to an l Intra group - women, widows, elderly, children, disabled
overload, which could be the case if extraneous information is provided. l Community based organisations that are promoted by the

The following are the minimum requirement in terms of background organisation
information from the organisation: l Traditional panchayat members.

l Vision/mission statements Secondary stakeholders
l Plans and budgets documents l Government agencies working in the area/on the issues
l Organogram and staff structure (including the governance l Other NGOs working in the area/on the issues
structure) l Elected panchayat leaders
l Policy documents: staff policy, gender policy, policies on l Religious institutions - if applicable
inclusion, etc l Other interested civil society groups (in the tsunami context,
l Disaggregated data on the staff those that responded to tsunami - youth groups, cultural groups)
l Programme areas and geographical coverage and its l School teachers.
demographic profile
The costs
l Annual reports of the past two years, including budget
The Memorandum of Undertanding (MoU) between the chief of the
realisation
organisation and the SEA coordinator will include a schedule of
l Reports and other documents specific to the particular
payments, and a detailed line-item budget. The audit has the following
programme, including budget realisation
costs:
l Reports of any Organisational Development Process undertaken
l 29 person days of audit facilitation
l Minutes of meetings: board, staff, community, network meetings
l Travel for auditors to and from the organisation and its field area(s)
l History and timeline of the organisation
l Local travel, boarding and lodging for three auditors for nine days
l Any other information as required.
(one day pre-audit; five days audit; three days joint report writing)
The appropriate background material is sent to the SEA secretariat by l Computers for three days during the joint report writing
the commissioning organisation. At the earliest, the audit can start only l Report production costs.
two weeks after the information reaches the SEA secretariat. These are indicative costs, which could vary depending on the scale of
the organisation.
29

The Timeframe and Responsibilities 2 On site interactions 5 days Chief of the
From the time of signing the MoU, an SEA takes about two months. (audit) Orgnisation
This schedule is short enough to keep the momentum going and the and Audit Team
leader
interest high, and long enough to internalise the process.
2.1 Entrance conference Day 1 of audit Chief of the
It is important to note that the SEA process, being voluntary and Organisation and
participatory, can start only after sufficient background information is Audit Team leader
provided and the audit team has sufficient time to familiarise themselves
2.2 Field visits 3 subsequent days Chief of the
with it. On doing so, the SEA team would customise the formats, as Organisation and
explained under the pre-audit section below, for the organisation before Audit Team leader
their visit.
2.3 Exit conference Day 5 of the audit Chief of the
Organisation and
Audit Team leader

Sl.
No. Activity Time frame Persons Responsible 3 Audit report

1 Pre-audit 3.1 Report writing as team 3 days immediately Audit Team leader
after audit
1.1 Orientation on SEA One month before the SEA Coordinator
to the commissioned audit begins and the Chief of the 3.2 First draft to the Within 10 days after the Audit Team leader
organisation and the organisation organisation/ exit conference
signing of MOU with secretariat - all formats
to be filled, key
1.2 Documents to the 15 days before the start Chief of Organisation questions addressed
secretariat of the audit and report completed
in the required format
1.3 Documents to be sent 10 days before the start SEA Coordinator
to the auditors of the audit 3.3 Response to the draft Within 15 days after the Chief of the
to the audit team receipt of the draft report Organisation
1.4 Pre-audit research Prior to audit Audit Team
leader
commencement
3.4 Final report to be sent Within 5 days after Audit Team leader
1.5 Pre-audit planning Previous day of the audit Audit Team
to the secretariat - a getting the response
session
soft copy and 2 hard from the
copies along with the organisation.
documents and reports
of the organisation
collected for the audit

31

Stage 2: Pre-audit research and planning
l The documents and reports are collected from the organisation
2. The audit process and sent to the auditors.
l The auditors review and familiarise themselves with the documents
The audit is done in the following stages: to understand the background and functioning of the organisation
Stage 1 : Introduction l The auditors prepare briefs about various documents
Stage 2 : Pre-audit research and planning l· They identify the areas for enquiry
Stage 3 : Pre-audit meeting of the SEA team
Stage 4 : Entrance conference
Stage 3: Pre-audit meeting of the SEA team
The SEA team would meet for a day before the audit. It is an occasion
Stage 5 : Audit
for each member to present his/her understanding, reflection on the
Stage 6 : Exit conference background materials perused.
Stage 7 : Audit report The following tasks are undertaken during the meeting:
Stage 8 : Follow-up l Arriving at a description of project/summary of evaluation of records
l Customising the tools, formats and tables
Stage 1: Introduction l Evolving project specific data collection tables and key questions,
The SEA secretariat and the commissioning organisation work together if need be
to assess the SEA needs of the organisation. A secretariat personnel l Developing specific audit checklist
visits the organisation to introduce the SEA process to the key l Working out provisional sampling
organisation personnel, explains to them the information needed and l Tentative time schedule
discusses the logistics. This is the starting point for the whole audit l List of people to be interviewed
process. The team of auditors is constituted and the MoU is signed l List of groups to be met
between the organisation and the secretariat and between the auditors l List of other stake holders to be interviewed
and the secretariat. l Preparing for Entrance conference
The MoU has the following: l Dividing the task
l Objectives of SEA l Facilitation
l Scope of the audit l Process documentation
l List of documents required for the audit l Data collection
l Responsibilities of the commissioning organisation
Stage 4: Entrance conference
l Responsibilities of the secretariat
The entrance conference is a key step in the process. It ensures that
l Time schedule
the audit is participatory and a mutual learning process right from
l Costs
the outset.
l Conflict resolution mechanism
The purpose of the entrance conference is to:
l Set the tone of the audit
l Discuss apprehensions if any

33

l Clarify the why, what, where and how of SEA The audit team would participate in some planning-monitoring
l Develop internal collective understanding of the process with the meetings if feasible.
organisation The interaction would be both as groups and as individuals. Different
l Identify the gaps in the data provided methodologies would be used to facilitate better understanding and
l Identify the areas to be audited information generation.
l Clarify the programme objectives and the activities undertaken to
achieve them Field visits
l Prepare a stakeholder map of the organisation and identify the The field visits are an indispensable component of the audit process.
key stakeholders They need to be planned to cover maximum number of variables
l Determine the scope of the SEA through purposive sampling.
l Finalise the indicators which will allow performance to be
assessed Field visits allow interaction with community members covered by the
l Identify what existing records and data can be used programme, and also with community organisations promoted by the
l Decide what new, additional data will be collected and how organisation.
l The customised data formats would be given out so that the The meeting with the community is important for validation of
appropriate data can be collected perceptions. Meeting community representatives will suffice, if they
l The sampling of people and places to be visited would be are a representative cross-section of the community and community
finalised organisations.
l Finalisation of schedule, logistics.
In keeping with our knowledge of social exclusion and the section that
With the greater understanding of the SEA process, the whole team of has potential to be excluded, the field interactions should also include
the commissioning organisation can give quality input on the data interaction with those who may have been left out–this is a sensitive
required: areas to be audited, time required for preparation and optimum matter for the organisation/community and needs to be discussed with
sampling for understanding the organisation and programme best. them and sensitively handled.

Stage 5: Audit Stage 6: Exit conference
l The audit is for five days. The exit conference will be on the last day of the audit. The exit
l The appropriate data forms need to be filled in (entrance conference, conference should be of at least three hours duration to be meaningful
exit conference, each meeting). At the exit conference the auditors will share the preliminary findings
and recommendations with the commissioning organisation. There will
Interactions be clarifications, and factual errors can be corrected. The data will be
The SEA team would meet with as wide a section of stakeholders as validated. The views of all stakeholders will be elicited.
possible and feasible. They would also interact with representatives from
the board and key functionary senior team members and programme
team.

35

The discussion would cover the following specifically, to ensure the l Any internal disagreements to any of the findings/ observations
continued relevance of the programme: should be captured with explanations/ rationale for such differences
l Sharing of the perceptions and feedback of the community
l The responses to points of disagreement by the organisation should
l Review of vision, mission and policies in the light of the audit
be examined and auditor’s responses (collective or individual) noted
findings
down
l Suggestion of proactive measures, possible alternatives and
improvement areas for inclusion and equity l Should also detail the disagreements with the organisation – for
l Difficulties encountered in information collection process and the example, some disagreements the auditor might actually agree with
suggestions for improvement and accordingly change his/her finding whereas some others the
l Congruence between objectives and strategies? Make sure that auditor might not agree with while noting the organisation’s
community programmes justify their existence disagreement. It is important to note down how each point of
l Feedback of the organisation stakeholders on SEA process. See if disagreement has been dealt with to ensure complete transparency
the stakeholders are benefiting from the audit exercise. of the process.

Stage 7: Audit report Stage 8: Follow-up
A draft report will be submitted to the organisation within 10 days of The commissioning organisation should use the recommendations in
the exit conference. their programming, systems and structures.
The response of the organisation to the draft report is expected within Ideally, there should be at least one follow-up visit by the SEA team
15 days. It could contain clarifications, and a plan of action to address after six months or one year. Several audit cycles are usually needed to
the recommendations. measure impact and progress over time, and to focus planning efforts
where they can be most effective.
The final report will be sent within five days of getting the comments
from the organisation, correcting any factual errors and incorporating
the comments.
The finalisation of the report by the auditors:
l This is an important step in the audit process that requires looking
through all the data, discussions and documents before finalising
the report
l The audit team should meet together after the exit conference to
finalise the audit findings.
The meeting should also be used to capture all un-captured data
(verbal data, anecdotes, things that have not been written down
and are still in the mind, detailing of cryptic notes that might have
been taken during various exercises, meetings, etc.)

37

Organisation’s response
Before the report is finalised, each organisation will be requested to
3. The report framework send its response to the draft audit report and then the final draft will
be prepared.
Preamble
The preamble would explain the context and the purpose of undertaking Future plans
the SEA. It will include the intention and rationale of the audit process From the responses to the SEA report, the organisation will be requested
and highlight the appropriate international standards in relation to social to present their plan to address the various issues raised in the report.
equity auditing, as for instance the SPHERE standards for disaster
situation. The final report
The final SEA report will include the organisation’s final statement
Profile of organisation provided it is sent within the time-frame set.
A brief introduction of the commissioning organisation’s vision-mission-
goals and background will be presented. This will be linked with the
inclusion, equity and social exclusion issues. The organisation’s approach
to social reconstruction work will be gathered. An analysis and
understanding of issues related and possible options for interventions
by the organisation and the actual response made by the organisation
will form part of this section.

Context of the community
The context of the community or the area under audit will be presented
in this section. Some of the areas highlighted will be social groups
affected by disaster, gender issues, power structure, socio-economic
structure, livelihood issues, political economy of the region and social
structure.

Audit findings and recommendations
This section will include the organisation’s interventions in terms of its
own policies, structures, programme designs, implementation, review
structures, budget allocations and possible future impact. A separate
section on ‘gender audit’ findings will help engender the programmes.

39

Social Equity Audit: A Practical Guide

Social Equity Audit: A Practical Guide

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